Maven is a market-leading proprietary trading firm deploying its own capital across discretionary, systematic, and market-making strategies. Backed by deep expertise in trading, technology, and research, we are relentlessly focused on improving liquidity across global listed derivatives. Through advanced execution and pricing technologies, we improve how financial markets operate.
We are looking for Compliance Analyst to join our Hong Kong based Compliance team.
As a Compliance Analyst, you will contribute to the effective operation of the firm according to its regulatory and internal policy requirements as they apply across the diverse range of trading activities carried out. You will also add value supporting this firm in achieving its forward-looking growth and development plans. In doing so, you will gain exposure to key aspects of compliance, supporting electronic options market making and multi-strategy trading (encompassing proprietary equity and bond strategies such as event trading and equity capital markets), regulatory monitoring, prudential compliance, policy implementation, and employee trading oversight.
The successful candidate will thrive in a fast-paced proprietary trading environment. As Maven continues to develop and to expand its business activities the complexity of the regulatory and exchange landscape, within which we operate, increases in parallel. Our aim is to ensure Compliance provides market leading support for the firm and, in doing so, ensures its safe, effective and sustainable growth and development.
Comprehensive training will be provided to ensure your success and ongoing development in this role.
Key Responsibilities
Policies, Procedures, and Training Materials
- Support the review and update of compliance policies and procedures and assist with the drafting and maintenance of training materials and employee guidance.
Internal Reporting
- Support the compilation and coordination of internal compliance reports, including quarterly compliance reports and other periodic disclosures.
Wall-crossing & Restricted List Management
- Ensure the safe and effective operation of Maven’s wall-crossing processes and assist with maintaining restricted lists and watch lists. Work directly with our trading business units to support the implementation of effective information barriers.
Operational Compliance
- Support Maven’s extensive operational compliance framework, contributing to processes such as those related to personal account dealing. Escalate potential compliance issues and contribute to documentation and reporting.
Regulatory Reporting
- Assist in the preparation and validation of regulatory filings required under UK, EU, US, and other relevant regimes; work with the team to ensure timely and accurate submissions.
External Document Requests & Regulatory Enquiries
- Assist with responding to requests from regulators and counterparties, including regulatory questionnaires and due diligence enquiries.
Training & Attestation Administration
- Coordinate the tracking and completion of mandatory compliance training and attestations across the firm.
Advising Trading Desks
- Act as a key point of contact for the trading desk, providing timely and accurate compliance advice on a range of topics, including short selling, market abuse, and other trading-related queries.
Experience & Qualifications
- Minimum of 2 - 3 years’ experience in a relevant legal or compliance role is required.
- Strong attention to detail, excellent organisational skills, and the ability to manage multiple tasks according to tight deadlines.
- Effective communication skills and a collaborative approach.
- An understanding of how AI can support role-specific responsibilities while maintaining appropriate governance and compliance
- Eagerness to learn - full training on compliance procedures will be provided.
- Proven experience working in a Control Room environment with a strong understanding of restricted lists and the dynamics of Equity Capital Markets (ECM) strategies.
- Hands-on experience in managing the wall-crossing process, from initiation to cleansing of information.
- Demonstrable experience and comfort in interacting directly with trading desks, providing clear and concise guidance in a fast-paced environment.
- Must be a self-starter, comfortable working independently as the sole compliance team member in the APAC region.
- Strong practical knowledge of AI technologies and their application within Compliance, including supporting regulatory research, enhancing the provision of compliance advice, automating manual processes, and identifying opportunities to improve efficiency and effectiveness.
Desirable Skills
- Technical: Excel, SQL, Python
- AI: Utilising AI in information gathering, providing advice, task automation and to improve general efficiency
- Language Skills: Business proficiency in Cantonese and written Chinese
What We Offer:
- A great environment whereby technology is key to our success
- The upside of a start-up without the associated risks
- Friendly, informal and highly rewarding culture
- A fast-growing global firm with plenty of opportunities where you will have a significant impact
- Work in a forward-thinking environment where AI is integral to our strategy and daily operations
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